Registrant Regulation Conduct & Compliance | Detailed Agenda

DAY ONE Tuesday, April 29th, 2014

7:30 AM

Registration and Continental Breakfast

8:15 AM

Opening Comments From the Chair

Prema Thiele

Prema Thiele,


Borden Ladner Gervais LLP

8:30 AM

Keynote Presentation: Regulatory Panel

Gain perspectives from provincial regulators and what direction they are going concerning regulation. Learn how these developments will affect your firm from current issues to future proposals.

  • Focus on KYC and suitability
  • Compliance review-what's next?
  • Dispute resolution
  • Next steps in regulatory reform

Understand what regulators are looking for and adjust your compliance programs to reflect upcoming changes.

Debra Foubert

Debra Foubert,

Director Compliance and Registrant Regulation Branch,

Ontario Securities Commission

Sandra Jakab

Sandra Jakab,

Director, Capital Markets Regulation,

British Columbia Securities Commission

9:45 AM

Panel: CRM II Update

Prepare for the Implemented Stages of CRM II

New requirements for the Client Relationship Model (CRM) were introduced beginning in 2013. The Client Relationship Model is being implemented in stages, with the last stage expected to start in 2016. Learn what each phase means for your firm and your clients. Gain insight into SRO harmonization with CRM II requirements. Delve into:

  • Current information on fee disclosure
  • New accounts statements
  • Relationship disclosure
  • Rules on performance reporting
  • Expectations on advisors and representatives

Take away guidance on the implementation of CRM II rules

Christopher Jepson

Christopher Jepson,

Senior Legal Counsel, Compliance & Registrant Regulation,

Ontario Securities Commission

Richard Corner

Richard Corner,

Vice President Member Regulation Policy,

Investment Industry Regulatory Organization of Canada

Joanne De Laurentiis

Joanne De Laurentiis,

President & CEO,


Paige Ward

Paige Ward,

General Counsel Corporate Secretary & VP Policy,

Mutual Fund Dealers Association

11:00 AM

Morning Break

Network with conference delegates and speakers.

11:30 AM

Developments in National Policymaking

  • Policy making after the 2012 Securities Reference
  • Progress of the Cooperative Capital Markets Regulator initiative
  • What changes to the regulatory system are being proposed?"
Lawrence Ritchie

Lawrence Ritchie,


Osler, Hoskin & Harcourt, LLP

12:15 PM


Join the conference speakers and your peers for a relaxing luncheon.

1:30 PM

Solution Provider

Overcoming Compliance Challenges with the Right Technology

Utilize effective technology solutions to manage compliance regulations. Assess what to look for when choosing a solution. Learn how to:

  • Identify appropriate solutions
  • Reduce compliance risk and improve workflow
  • Track and measure compliance
  • Reduce cost

Take away a better understanding of how technology will improve operational efficiency and reduce non compliance.

Paul Walker,



2:15 PM

Panel: Compliance Review

Gain Insight into Industry Reaction to Compliance Trends and Deficiencies

Regulators continue to find compliance deficiencies. Analyze what regulators are looking for. Understand where you must take action on the outcomes of compliance reviews. Take away key insights on:

  • Regulatory requirements and expectations of regulators
  • The role of the Compliance Officer and Ultimate Designated Person
  • The high costs of compliance for small firms

Gain new understanding on the impact of compliance for your firm.

Alana Dubinski

Alana Dubinski,

Vice President Compliance,

Stonegate Investment Counsel

Pam Thadani

Pam Thadani,

Assistant Vice President, Chief Compliance Officer,

Capital International Asset Management (Canada) Inc.

Wayne Bolton

Wayne Bolton,

Chief Compliance Officer,

Edward Jones

3:00 PM

Mid-Afternoon Break

Network with conference delegates and speakers.

3:30 PM

Regulation of Over-The-Counter Derivatives

Regulation of over-the-counter (OTC) derivatives is well underway, with the first set of rules finalized in December and to be in force come July 2014. Gain insight on:

  • What types of products are caught in the new OTC derivatives regime
  • Derivatives data reporting and who is obligated to do what
  • Clearing mandates and the "unclear" nature of the proposals
  • Potential new registration categories

Understand new rules and proposals regulating the OTC derivatives marketplace.

Julie Mansi

Julie Mansi,


Borden Ladner Gervais LLP


Update on Securities Exchange Commission

The SEC is enhancing its ability to enforce rules, examine registrants, and protect investors. Hear what lies ahead for regulatory compliance SEC-registered investment advisers. Topics will include:

  • The SEC's new enforcement tools and focus
  • The SEC's 2014 examination priorities and new initiatives
  • The SEC's 2014 regulatory priorities for investment advisers

Improve your understanding of where the SEC is focusing its regulatory and enforcement efforts now

Karen Barr

Karen Barr,

General Counsel,

Investment Advisor Association, Washington, D.C.

5:00 PM

Conference Adjourns to Day 2

5:15 PM

Cocktail Reception

Unwind and mingle with the delegates and speakers at our exclusive end-of-the-day reception. Bring your business cards!

Cocktail SponsorSponsored By:


DAY TWO Wednesday, April 30th, 2014

8:00 AM

Registration and Continental Breakfast

8:45 AM

Opening Comments From the Chair

Rebecca Cowdery

Rebecca Cowdery,


Borden Ladner Gervais LLP

9:00 AM - 12:00 PM


Through 3 in-depth workshops source specialized information particular to your company's regulatory category.
Interact with experts and fellow compliance officers and get solutions to your biggest concerns now!




The Client Relationship Model (CRM II) was implemented to enhance the relationships between investors and their financial advisors. As the stages of CRM II are phased in, many new requirements have already begun to impact registrants. Take part in this interactive discussion with industry experts on the challenges and solutions to CRM II.

  • Relationship disclosure
  • Account statements
  • Fee disclosure
  • Exemptions
  • Compliance reviews
  • Implementation of stages
  • Performance reporting
  • Transition periods
  • Client statements
  • Expectations on representatives
Garth Foster


Garth Foster,


Fasken Martineau

Matthew Williams


Matthew Williams,

Partner, Securities and
Capital Market,

Borden Ladner Gervais LLP

Sarah J. Ennor


Sarah J. Ennor,

Head of Policy Development &
Vice-President, Legal, Corporate &
Compliance Group,

BMO Financial Group


Barbara Amsden,

Managing Director



Exempt Market Dealers

As the exempt market continues to evolve there are many challenges associated with compliance. Discuss issues such as ethics, due diligence, conflicts of interest, reporting requirements, and more in this interactive workshop.

  • Solving compliance deficiencies
  • Restricted market dealers
  • Best practices
  • Dispute resolution
  • Prospectus exemptions
  • Suitability for clients
  • Challenges for new registrants
  • Proper documentation
  • Know Your Client
  • Fiduciary Duty
Lara Misner


Lara Misner,

Chief Compliance Officer,

Purpose Investments Inc.


Lilly Hua,

Chief Compliance Officer,

Walton Capital Management Inc.


Ron Kosonic,


Investment Management Group, BLG LLP


Investment Fund Managers/Portfolio Managers

As ethics and compliance become more and more important, analyze strategies to solve your compliance concerns. Share ideas with industry leaders and peers in this group workshop.

  • Risk management
  • Fiduciary duty
  • Mutual fund fees
  • Outside business activities
  • Compliance challenges
  • Dispute resolution
  • Outsourcing processes
David Cheop


David Cheop,

Vice President, Corporate Compliance,

Investors Group Inc.

Don Campbell


Don Campbell,

Legal Counsel, Compliance


Ralf Hensel,

General Counsel Corporate Secretary, Director of Policy,

Investment Funds Institute of Canada

11:30AM - 12:00PM


Chantal Mainville,

Senior Legal Counsel, Investment Funds,

Ontario Securities Commission

12:00 PM


Join the conference speakers and your peers for a relaxing luncheon.

Lunch SponsorSponsored By:

1:15 PM

Greed: A Cautionary Tale

Examining the Architecture of Unethical Behaviour

Regulators are working to identify fraud and misconduct to protect investors. Learn from a former registrant how greed drives unethical behaviour. Walk away with new information to:

  • Understand the psychology behind unethical behaviour
  • Learn how the forces of fear and greed drive regulatorymisconduct
  • Become aware of the signposts to disaster that ensnared Meir at Portus

Take away insight into the impacts of misconduct.

Mikael Meir

Mikael Meir,


Mikael Meir Inc.

2:15 PM

Implications of FATCA on Canadian Registrants

The Foreign Account Tax Compliance Act (FATCA) is a mandate by the Internal Revenue Service to identify U.S. taxpayer owned accounts and prevent offshore tax evasion. FATCA compliance is challenging, and firms must comply. Get up-to-date insights into:

  • Canada's role in FATCA compliance
  • Key dates for FATCA legislation
  • The impact provisions will have on your firm

Take away new insights on how FATCA affects Canadian firms.

Diamada Yannopoulos

Diamada Yannopoulos,

Senior Manager Financial Services Tax,

Ernst & Young LLP, Toronto

Jillian Nicolson

Jillian Nicolson,

Partner, Operational Taxes, Canadian Market Leader, Financial Services Organization,

Ernst &Young LLP, Toronto

3:00 PM

Mid-Afternoon Break

Network with conference delegates and speakers.

3:30 PM

Fiduciary Responsibilities for Dealers and Advisers

Regulators are evaluating applicable terms for dealers and advisers regarding statutory fiduciary duties. Discuss if there is a need for a best interest standard. Take away insight on:

  • Adviser-client relationships
  • How your firm will be affected
  • Terms to apply to dealers and advisers

Learn how fiduciary duties will apply to your organization.

Laura Paglia

Laura Paglia,


Borden Ladner Gervais LLP

4:15 PM

Conference Adjourns




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